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In-House
Attorney
Trusts and Estates
Min 5 yrs required
Director of Compliance The candidate will research and analyze legal and regulatory requirements affecting the Company’s relationship with customers. Will maintain and update compliance guidelines. Will revise policies and procedures. Will work with other departments to develop and implement compliance training plan. Will design and conduct compliance data audits. Will monitor compliance with policies and procedures and recommend enforcement action, as necessary. Will review and manage relationships with certain third-party vendors to ensure compliance with the Company’s compliance guidelines. Will maintain system for effective, timely reporting of audit results and compliance information to the Chief Legal Officer. Will develop and manage escalation plans and critical path analyses for customer-related risk issues. Will serve as member of compliance committee. Will organize and maintain record keeping of all compliance functions. Will serve as liaison between legal department and other departments on customer-related compliance issues. Will assist other members of the legal department, as necessary.
Qualification and Experience
The candidate should be a self-starter who operates independently in a fast-paced environment. Should be detail-oriented with an insistence on high quality work product. Should be intermediate to advanced proficiency in Microsoft Office Suite. Should have strong analytical, writing, and oral presentation skills. Should have strong communication (written and verbal), organizational, and interpersonal skills. Should have ability to interface and work cross-functionally with multiple organizations. Should have experience in Project Management. Should have 5+ years experience with developing and maintaining compliance management systems, preferably in financial services, banking or mortgage industries. Should have ability to interact with various business units and personalities to carry out primary job functions. Should have ability to evaluate issues along appropriate risk spectra. Should have ability to work under pressure and appropriately prioritize tasks and escalate issues as necessary. Must have Bachelor’s degree required; U.S. law degree and bar admission preferred.
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